SEC Form 4 · accession 0001437749-15-001405
NV5 Global, Inc. · NVEE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald C Alford
Officer — Executive VP · Director
Period of report
Jan 27, 2015
Accepted (ET)
Jan 28, 2015 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532961
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 27, 2015 | X | 1,000 | $7.80 | A | 6,000 | I | Wife's IRA |
| Common Stock | holding | — | — | — | 72,253 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1 | $7.80 | Jan 27, 2015 | X | 1,000 | D | Jan 5, 2015 | Feb 4, 2015 | Common Stock | 1,000 | 0 | I |
Explanation of responses
- F1The Issuer effectuated a the call for the redemption of all of its outstanding public warrants commencing on January 5, 2015 after satisfying the applicable conditions set forth in the amended and restated warrant agreement, dated as of September 24, 2013, governing the public warrants. The public warrant holders have until 5:00 p.m., New York City time, on February 4, 2015 to exercise their public warrants at $7.80 per share.